Research handbook on securities regulation in the United States
著者
書誌事項
Research handbook on securities regulation in the United States
(Research handbooks in financial law)
Edward Elgar, c2014
大学図書館所蔵 全5件
  青森
  岩手
  宮城
  秋田
  山形
  福島
  茨城
  栃木
  群馬
  埼玉
  千葉
  東京
  神奈川
  新潟
  富山
  石川
  福井
  山梨
  長野
  岐阜
  静岡
  愛知
  三重
  滋賀
  京都
  大阪
  兵庫
  奈良
  和歌山
  鳥取
  島根
  岡山
  広島
  山口
  徳島
  香川
  愛媛
  高知
  福岡
  佐賀
  長崎
  熊本
  大分
  宮崎
  鹿児島
  沖縄
  韓国
  中国
  タイ
  イギリス
  ドイツ
  スイス
  フランス
  ベルギー
  オランダ
  スウェーデン
  ノルウェー
  アメリカ
注記
Includes bibliographical references and index
内容説明・目次
内容説明
This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statutes, and the regulators and market participants involved. In addition to a general summary of the topic, this volume provides detailed explanations of the process for registering securities, exemptions from registration, secondary distributions, and the underwriting process.Scholars and students of financial law, banking and regulatory law will find this book a useful resource, as will attorneys, compliance professionals, risk-mitigation professionals and corporate leaders.
Contributors: B. Black, L.A. Blau, R.C. Campos, P. Evans, J. Fanto, J. Gabilondo, Z.J. Gubler, T.L. Hazen, W.A. Kaal, A.B. Laby, M. Liston, J. MacLeod Heminway, M.Q. Paz
目次
Contents:
Introduction
1. Overview
Jerry W. Markham
2. The Definition of "Security" Under the Federal Securities Laws
Arthur B. Laby
3. The Integrated Disclosure System
Rigers Gjyshi
4. Exemptions from 1933 Act Registration
Thomas L. Hazen
5. The Underwriting Process and Secondary Distribution
Zachary J. Gubler
6. Secondary Markets
Roel C. Campos and Marlon Q. Paz
7. The Rise of Risk-Based Regulatory Capital: Liquidity and Solvency Standards for Financial Intermediaries
Jose Gabilondo
8. Investment Adviser Regulation
Wulf A. Kaal
9. Corporate Governance and the Regulation of Mergers and Acquisitions
Jerry W. Markham and Rigers Gjyshi
10. The Sarbanes-Oxley Act of 2002: A Regulatory Hodge-Podge Arising from Highly Visible Financial Fraud
Joan Macleod Heminway
11. Regulation of Derivative Instruments
Jerry W. Markham
12. An Overview of Compliance-Related Issues in Broker-Dealer Regulation
James Fanto
13. Fraud, Manipulation and Other Prohibited Practices
Jerry W. Markham
14. The Past, Present and Future of Securities Arbitration Between Customers and Brokerage Firms
Barbara Black
15. Private Rights of Action Under U.S. Securities Laws: Key Differences between Litigation and Arbitration of Securities Disputes, Limited Right of Action Against Investment Advisers, and the Uncertain Future of Class Litigation
Leslie A. Blau, Mark Liston and Peter Evans
16. Comparative Analysis of Global Securities Regulation
Jerry W. Markham
Index
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